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About the Role
iCapital is seeking a Subscription Document Review Associate for its Regulatory and Compliance team to ensure investor subscription materials comply with relevant securities laws and FINRA rules.
Responsibilities
- Review, track, and maintain investor subscription materials, including subscription booklets, indexes, and related documentation.
- Create and maintain Excel spreadsheets and reports tracking investor subscriptions, deadlines, and transaction-related data.
- Maintain and update rules of engagement for fund sponsors and law firm fund formation departments.
- Communicate with investment relation teams on ongoing fundraises and investor issues.
- Draft deficiency comments for investor subscription materials.
Requirements
- 1-3 years of alternatives experience, preferably with private funds and registered investment advisor experience
- Experience in fund structuring and formation, reviewing governing documents for alternative and registered funds
- Experience reviewing governing documents for investors, (i.e. limited liability company agreements and trust agreements)
- Knowledge of the Investment Company Act of 1940 and Securities Act of 1933
- AML and KYC knowledge of regulatory requirements for private fund investors is a plus
- Excellent verbal communication skills and strong ability for personal interaction
- Professionalism both client-facing and internally
- Able to thrive in a fast-paced environment with a continuous learning mindset
- Self-motivated with robust project management and process development skills
- JD is a plus
Skills
- Excel
- Project management
- Process development
- AML
- KYC
Location
- New York, NY
Work Type
- Hybrid
- Full-time
Experience Level
- 1-3 years
Salary/Compensations
- $90,000 to $115,000
Benefits
- Salary, equity for all full-time employees, and an annual performance bonus.
- Employer matched retirement plan.
- Generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling.
- Parental leave.
- Unlimited paid time off (PTO).
About the Company
- iCapital is a financial technology company.
- For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us
- Twitter: @icapitalnetwork
- LinkedIn: https://www.linkedin.com/company/icapital-network-inc
- Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/
Equal Opportunity
- iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer.
- We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.